Learn about the new SEC Marketing (and solicitation) rule, and best practices for SEC investment advisers to adapt to the new rules. A must read for CCOs.
SEC Marketing Rule for RIA Advertising and Solicitation Read More »
The U.S. Securities and Exchange Commission (SEC) Division of Examinations (formerly known as the Office of Compliance Inspections and Examinations), is responsible for examining registered investment advisers (RIA), investment companies, and private funds. In performing examinations, the SEC staff review disclosures, conflicts of interests, marketing, advertising, cybersecurity, business continuity, and other asset management priorities. With
What to Expect During an SEC Examination of an RIA Firm? Read More »
